DFX Intelligence

S•••• • C• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

S•••• • C• A••••••• L••

CRD 333042

SPRING HILL, TN

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Data as of May 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 11
On other graphs: 0
Observed: Sep 3, 2024 to May 5, 2026
10 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $118M••• Locked
Discretionary RAUM: $115M
Private client RAUM: $115Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $118Mderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• R•••••• C•••••	Trustee	F	yes	09/2024	Oct 9, 2024	Dec 13, 2024
S••••• B••••••• R••	PARTNER & CHIEF COMPLIANCE OFFICER	C	yes	05/2017	Sep 3, 2024	Dec 13, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SPRING HILL	Tn	United States	3	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 18, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$118M	$0	n/a	n/a	n/a	2	3	0	1

Relationships

Registered with (2)

← B•••••• R•• S••••Advisorregistration: current employment
Dec 9, 2024 to presentfactForm ADV
← B••••••• P•••••• W•••Advisorregistration: previous registration
Dec 13, 2024 to Dec 5, 2025factForm ADV

Controls (7)

← S••••• B••••••• R••OwnerPARTNER & CHIEF COMPLIANCE OFFICER, ownership code C, individual
Sep 3, 2024 to Dec 13, 2024factForm ADV
← W•••• B•••••••• P••••••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Occurred
May 5, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
May 5, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
May 5, 2026
Ria ownership band change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 3, 2024
Last observed: May 5, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.